Raeesa Abdulla

I am a 38 year old female looking to get back into the compliance industry. I am actively looking for courses to refresh my knowledge and update myself with the laws and regulations. I am hoping to find employment but at the same time looking at courses in Compliance and Fica. I am liaising with the Compliance institute with various qualifications. I currently have a BCOM degree, RE5 and RE1.

Entrepreneur - Self Employed, Entrepreneur

(2020-01)

I currently own a small store in a mall and an online store.

• Training, supervising and managing budgets
• Dealing with customer queries and complaints
• Buying stock, overseeing pricing and stock control
• Managing the online store and social media platforms
• Making sure the walk in retail store is run effectively
• Managing retail staff
• Submitting UIF submission
• Submitting Tax returns yearly
• Social media and photography
• Updating and managing the online store

RISK SPECIALIST - PRESCIENT FUND SERVICES

(2017-04 - 2020-06)

• Drive compliance throughout the team in terms of general legislation pertaining to the financial service industry
• Ensure we have in-depth knowledge and understanding of FICA, POPI, FATCA, related AML legislation and regulations
• Managing working relationships with a variety of stakeholders, including end-users, project managers, compliance officers, clients and senior staff members
• Identify and analyze relevant legislative and regulatory requirements pertaining to the business; Identify and analyze existing and new processes to conform to the requirements identified
• Providing advice, awareness and training on matters pertaining to regulatory requirements
• Due diligence checks on investors
• Monitoring Lexis Nexis and status of individuals and legal entities
• Monitoring and reporting suspicious transactions
• Preparing reports to senior management
• Responsible for checking all client files, agreements and monitoring teams regularly to assist with sourcing FICA and FATCA documents to ensure compliance for business where needed
• Responsible for checking client signatory lists are updated and in order
• Providing regulatory training for new staff and as a refresher to existing staff (FICA)
• Regulatory reporting: SARB, ASISA and K23 submissions
• Assist with performing due diligence on clients including running checks against Lexis Nexis
• Attend seminars and training sessions on regulatory topics such as TCF, FICA and POPI

FAIS SPECIALIST - OLD MUTUAL - RETAIL MASS MARKET

(2013-02 - 2017-03)

Assists the business unit to establish and embed a culture of compliance across the business unit through

• Development of compliance risk management and monitoring plans
• Assisting with the monitoring of processes around agreements with external parties
• Responsible for the FAIS FSCA register
• Control and Update the FSB Register and Monitoring Supervision Activities
• Maintain FAIS data on the database
• Regularly update information of FAIS representatives with results, credits and NQF levels on database every 15 days
• Reporting on database
• Monitor and track examinations and qualification for representatives
• Monitor fit and proper queries with the FSB
• Deal with debarments and non-compliances
• Administer the appointment/ removal process of key individuals and approvals of Compliance Officers
• Liaise with the Financial Service Board on various FAIS related matters
• Liaise with tertiary institutes to obtain course and credit information
• Liaise with the Training and New Business for accreditation
• Act as a support system to Group Compliance by aiding with fit and proper status of FAIS representatives via telephone and email
• Provide assistance to departments with any queries relating to FAIS
• Train the HR Recruiters on FAIS knowledge and how to recruit fit and proper candidates
• Manage the supervision processes and other applicable governances including coordinating the activities of the Internal FAIS Committee
• Communicate any changes of rules by the FSCA
• Participate in compliance related projects
• Running individuals and business entities on Lexis Nexis
• Completing suspicious transactions and Political exposed persons
• Making an application to the FSCA FOR PEPS and high risk clients
• FAIS, FICA, TCF Non-compliance related issues
• System enhancements for Legislative Requirements

HR ADMINISTRATOR - OLD MUTUAL - RETAIL MASS MARKET

(2012-01 - 2013-01)

• Managing a leave mailbox
• Capturing Leave on a Magnify system
• Dealing with leave queries
• Sort out Archive Mail Monthly
• Managing a Resignation Mailbox
• Processing Resignations and dismissals
• Manage the archiving mail monthly
• Debarment

OPERATIONS CONSULTANT - SARS - RETAIL MASS MARKET

(2011-06 - 2011-12)

• Render all Tax Advisor services to clients
• Registrations of new Tax payers
• Assist non-provincial tax payers and their annual Tax Returns
• To perform all Taxes administered by SARS in order to meet clients 'needs
• Ensuring that all standard Queries from clients are answered and resolve

MATRIC - ABBOTTS COLLEGE (2005-12)

B COM DEGREE - UNIVERSITY OF THE WESTERN CAPE (2011-03)

MODP - MANAGEMENT OF DEVELOPMENT FOR MANAGERS - BUSINESS SCHOOL (2013-01)

CERTIFICATE OF PROJECT MANAGEMENT - FTI (2015-12)

REGULATORY EXAMINATION RE5 - FPI (2015-03)

REGULATORY EXAMINATION RE1 - FPI (2017-03)